Study On The Risk Management Of "816" Event In Guangda Securities

With the rapid development of the social economy,China's financial market is becoming more and more prosperous,and the construction of the financial system is becoming more and more perfect.The securities industry is an important part of the financial system,which plays a very important role in the allocation of resources,financing,wealth management and so on.In the course of the development of the securities industry,there are certain differences with other industries,and their risks are characterized by diversity and complexity.Therefore,in the process of risk management,securities companies should pay attention to the overall analysis and consideration of the problem from the overall point of view.China's securities industry started relatively late,with a short development time and lack of experience in risk management,which led to the difficulty of risk management and lack of targeted management.In order to further enhance the risk management level of China's securities companies,China's securities industry has been consolidated in the period of-2007 2004,which has played a positive role in the risk management of securities companies.However,from the present situation,the risk management of securities companies still has shortcomings,which has brought a very negative impact on the development of the securities companies.In the process of research and analysis,we take Everbright Securities "816" event as a case study,combined with this incident,analyze the risk management problems of China Everbright Securities.The main contents of this paper are as follows:The first chapter is the introduction.This chapter is mainly about the background and significance of the topic selection,the research status quo at home and abroad,the literature review,the research ideas and research methods,the basic framework of the thesis and the innovation of this paper.The second chapter is an overview of the theory of internal risk.First of all,the concept of internal risk is defined and the concept of internal risk is roughly described.Secondly,it introduces the types of internal risk in enterprises.The Oolong of Guangda refers to the related introduction of the events.First of all,the present situation of enterprise management is analyzed.Then it introduces the preventive measures taken by enterprises and the internal risk system of securities companies,which lays a theoretical foundation for case analysis,cause analysis and corresponding preventive measures.The third chapter is based on the "816" case introduction and the problem analysis.This paper introduces the actual situation of the internal risk system of the company,and then aims at the analysis of the problems.The fourth chapter is to put forward specific measures related to the internal risk system in China.Starting from the theoretical basis of the second chapter,aiming at the analysis of the third,fourth chapter,combined with the analysis of the event of "816",summed up the specific countermeasures of China's securities company's internal risk.The fifth chapter is the conclusion and the prospect.On the basis of the case analysis above,the main work and main conclusions of the paper are summarized,and the development direction of the research is further predicted.